Gornall, Adrian Rubin
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Religare Capital Markets (Hong Kong) Limited | RO | Advising on securities | 2015-10-09 | 2016-03-01 |
| 2 | DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2003-04-23 | 2004-05-10 |
| 3 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2003-04-23 | 2004-05-10 | CLSA LIMITED | Rep | 2004-06-02 | 2008-07-17 | Aletheia Analyst Network Limited | Rep | 2008-10-01 | 2009-09-18 | Quam Securities Limited | Rep | 2010-01-26 | 2011-10-22 | ORIENTAL PATRON SECURITIES LIMITED | Rep | 2012-01-19 | 2012-09-01 | Religare Capital Markets (Hong Kong) Limited | Rep | 2015-06-16 | 2015-10-09 | Religare Capital Markets (Hong Kong) Limited | RO | 2015-10-09 | 2016-03-01 | Sunrise Brokers (Hong Kong) Limited | Rep | 2016-05-12 | 2019-02-28 |
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